6.1 An investment intermediary shall retain, in a readily accessible form and for a period of at least six years from the date of the transaction, a full record of each transaction entered into by it and all records required to demonstrate compliance with applicable legislative requirements and regulatory requirements.
6.2 An investment intermediary shall put in place a service level agreement with any person or firm to whom it proposes to outsource all or part of its record-keeping obligations. An investment intermediary must ensure that any such service level agreement does not conflict with any of its obligations under applicable legislative requirements or regulatory requirements. Notwithstanding any such arrangement, an investment intermediary shall remain responsible for compliance with the provisions of this Handbook and all applicable legislative requirements and regulatory requirements imposed on the investment intermediary.
6.3 An investment intermediary must have adequate pr
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